The Development of Emotion and Expression.
From Biological to Cultural Inheritance
Manfred Holodynski
Universität Bielefeld
Conference
Emotions: Synthesizers of Culture and Biology
Interdisciplinary Approaches
March 29 - 31, 2004
Center for Interdisciplinary Research, Bielefeld
Manfred Holodynski: The Development of Emotion and Expression
The Development of Emotion and Expression.
From Biological to Cultural Inheritance
Manfred Holodynski
1. Problem: How far are emotions culturally shaped?
2. Two controversial positions
3. The benefits of a developmental analysis of emotions
4. How culture enters into emotional development
Manfred Holodynski: The Development of Emotion and Expression
How far are emotions culturally shaped?
The strong biological position
Position:
• There is a biologically based set of basic emotions such as fear, anger,
joy, interest, sadness, disgust.
• Every emotion has a particular adaptive function
• appraisal of a situation in relation to personal motive
• elicitation of a motive-serving action readiness
• Action readinesses are fixed reaction syndroms of expression, body
reaction and feeling
(Ekman, 1972; Izard, 1977; Panksepp, 1998)
Empirical evidence:
• Set of basic emotions are universal for all human beings in every culture
• Some emotions are shared with mammals
Manfred Holodynski: The Development of Emotion and Expression
How far are emotions culturally shaped?
The strong cultural position
Position:
• Human beings are able to use symbols. This enables them to create, adopt,
and modify meaning systems that are handed down from one generation to
the next.
• The adaptive function of emotions (appraisal and action readiness) depends
on these culturally evolved meaning systems.
• Therefore, emotions are culturally learned reaction syndroms
(Averill, 1986; Harré, 1986).
Empirical evidence:
• The failure to find convergencies between expression, body reaction,
and feeling
• The diversity of culture specific emotions
Manfred Holodynski: The Development of Emotion and Expression
On the path toward integrative models of emotion
One problem and a strategy for solving it
State of the art:
• Both extrem positions symplify the relations between the biological and
cultural aspects of adult emotions.
• This requires the construction of more complex models on adult emotion.
Methodological problem:
• Complex models contain so many degrees of freedom that they can be
made to fit (almost) any empirical data.
• How can we test complex psychological models?
One strategy to solve the problem:
• A developmental analysis of ontogenesis as a strategy to test complex
models on adult emotion.
Manfred Holodynski: The Development of Emotion and Expression
A selection of complex models on emotion
Manfred Holodynski: The Development of Emotion and Expression
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On
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onemotion
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?
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anan
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Infant
Adult
Reflective Regulation Processes
R2
R1
Goal
Commitment
V2
Feeling as
conscious
Emotion
E5
Emotion
Emotion
Motives
E6
R2
V3
E5
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Feeling as
Feedback
Sensation
E1
E1
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E2

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IS
PS
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E1
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E1
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
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adult model of emotion.
Manfred Holodynski: The Development of Emotion and Expression
A developmental analysis of emotions
Age group
Neonate
Infant
Preschooler
Interpersonal
regulation
ticp0vf 3.ins
Precursor emotions:
Expressions have
sign function
Emergence of
culturally shaped
emotions
Functional differentiation of sign use:
Expression:
Expressed feeling:
appeal to others
appeal to oneself
Child
Symbolization of
expression signs
Adult
Interpersonal
regulation
Internalization of
expression signs
Intrapersonal
regulation
Manfred Holodynski: The Development of Emotion and Expression
A developmental analysis of emotions
1. Precursor emotions of neonates
Age group
Neonate
Interpersonal
regulation
ticp0vf 3.ins
Precursor emotions:
Expressions have
sign function
Infant
Preschooler
Child
Adult
Interpersonal
regulation
Manfred Holodynski: The Development of Emotion and Expression
Intrapersonal
regulation
1. Precursor emotions in neonates
Why they are not fully functioning emotions
Distress
Interest
Pleasure
Fearful tention
Disgust
Features of neonates‘ precursor emotions (Sroufe, 1996):
• Triggered by absolute physical stimulus thresholds - not by any attributions of
meaning like emotions
• Expressive and body reactions are not coordinated with cause and context - an
emotion is directed toward its cause and consists of a fine-tuned expression.
• Long onset and offset - emotions are triggered promptly
Manfred Holodynski: The Development of Emotion and Expression
1.
1. Precursor
Precursor emotions
emotions in
in neonates
neonates
function:
Their
Their function
function:: They
They regulate
regulate the
the actions
actions of
of caregivers
caregivers
Interpersonal
Interpersonal regulation
regulation
Infant
Infant
Cause
Cause
Appraisal
Appraisal
Adult
Adult
Feeling
Feeling
Action
Action
Body
Body react.
react. Expression
Expression
Intrapersonal
Intrapersonal regulation
regulation
Adult
Adult
Cause
Cause
Appraisal
Appraisal
Feeling
Feeling
Body
Body react.
react. Expression
Expression
.
.
Manfred Holodynski: The Development of Emotion and Expression
Manfred Holodynski: The Development of Emotion and Expression
Action
Action
1. Precursor emotions in neonates
Function of Expressions: Signs refering to emotions
Meaning
Symptom
1. I feel bad
2. I‘ll continue crying
Appeal
The other should act:
Help me, I am helpless!
Sign
Expressive
pattern
Object
1. Feeling state/appraisal
2. Action readiness
Manfred Holodynski: The Development of Emotion and Expression
1. Precursor emotions of neonates
How does emotions emerge from precursor emotions?
Distress
Interest
Endogenes Smile Fearful tension
Disgust
Affection
• Maturation ?
Anger
Pride
• Coregulation between child and caregiver !
Manfred Holodynski: The Development of Emotion and Expression
Embarrassment
A developmental analysis of emotions
2. Emergence of culturally shaped emotions (0 - 3 years)
Age group
Neonate
Infant
Interpersonal
regulation
ticp0vf 3.ins
Precursor emotions:
Expressions have
sign function
Emergence of
culturally shaped
emotions
Preschooler
Child
Adult
Interpersonal
regulation
Manfred Holodynski: The Development of Emotion and Expression
Intrapersonal
regulation
2. Emergence of culturally shaped emotions
Coregulation between caregiver and child
Infant
Cause
Appraisal
Adult
Feeling
Body react. Expression
Appraisal
Feeling
Action
Body react. Expression
Coregulation between caregiver‘s intuitive parenting (Papoušek & Papoušek,
1987) and child‘s contingency learning:
1. Infant/caregiver arranges situations in which the infant can have new experiences.
2. Infant appraises the novel situation only generally and react with some
uncoordinated body reactions and expressions.
3. Caregiver interprets infant‘s expression as sign referring to emotions.
4. She acts on behalf of her infant in line with her interpretation.
5. Infants are sensitive toward temporal, sensory, and spatial contingencies.
6. Infant combines particular cause, expression, and impact on caregiver to form a
particular emotion with well-coordinated expression signs.
Manfred Holodynski: The Development of Emotion and Expression
2. Emergence of culturally shaped emotions
The differentiation of distress expressions
Study on 1-, 4- and 7-month-old babies, whose arms were restrained
(Stenberg and Campos, 1990)
1-month-old: distress
– Series of undifferentiated negative facial expressions before starting to cry
– Unfocused gaze behavior, closed eyes while crying
– Long onset and offset after letting go of the arms
4-month-old: frustration
–
–
–
–
(able to infer cause-effect relations)
Head and gaze directed toward the face or hand of the person restraining the arm
Drawn eyebrows, open rectangular mouth, and then crying
Medium onset and offset
7-month-old: anger
–
–
–
–
(able to ascribe intentions to others)
Like 4-month-old, plus
Gaze shifted from the hand to attendant mother (call for assistance)
Prompt onset and offset
Manfred Holodynski: The Development of Emotion and Expression
2. Emergence of culturally shaped emotions
How culture enters into emotions: The symbolization of expression
Symptom
1. I feel threatened
2. I am ready to attack
Meaning
Appeal
The other should act:
Hold off! Give way!
Symbol
I act as if this is the way it is
Sign
Expressive
pattern
Object
1. Appraisal
2. Action readiness
Manfred Holodynski: The Development of Emotion and Expression
2. Emergence of culturally shaped emotions
Culturally evolved lexicon of expression signs
Expression
sign
Description
Symptom Function
Feeling state /
Appraisal
Action
readiness
Sticking out
You force me to do Although I give in,
one’s tongue at something that I
I don’t submit to
somebody
think I have to do, you.
but I want to decide
to do it.
Kneeling before I think something
somebody
very good about
you, I could never
think the same
about myself.
Appeal
Function
I want you to
know that I do
not submit to
you.
Because of this,
I want you to
I accept your will know that I think
without limitation. and feel this.
• Expression symbols can be modified in line with the formation of new
emotional appraisals and action readinesses.
• Expression signs are iconically coded - the sign is similar to its meaning.
• Culturally evolved expression symbols can be handed down to the next
generation.
Manfred Holodynski: The Development of Emotion and Expression
2. Emergence of culturally shaped emotions
Symbolization
of expression
signschild
Coregulation
between
caregiver and
Infant
Cause
Appraisal
Adult
Feeling
Body react. Expression
Appraisal
Feeling
Action
Body react. Expression
Coregulation between caregiver‘s intuitive parenting (Papoušek & Papoušek,
The
interplay
between
affect attunement
1987)
and child‘s
contingency
learning:and imitative learning (Stern, 1992;
Gergely & Watson,
1999):
1. Infant/caregiver
arranges
situations in which the infant can have new experiences.
Caregiver
mirrors
infant‘s
expression
a symbolized
manner
2.1.Infant
appraises
the novel
situation
only in
generally
and react
with (affect
some
attunement). body reactions and expressions.
uncoordinated
Infants are
able to infant‘s
imitate their
caregivers‘
expressions.
3.2.Caregiver
interprets
expression
as sign
referring to emotions.
Affect
„biofeedback“
training: Infant develops a
4.3.She
acts attunement
on behalf offunctions
her infantlike
in line
with her interpretation.
sensitivity to connecting symbolized expressions with the appraised cause
5. Infants are sensitive toward temporal, sensory, and spatial contingencies.
and his own expressions and feelings
6. Infant combines particular cause, expression, and impact on caregiver to form a
4.particular
Effect: Use
of expression
signs as symbols
as in emotional
referencing.
emotion
with well-coordinated
expression
signs.
Manfred
The Development
Manfred Holodynski:
Holodynski: The
Development of
of Emotion
Emotion and
and Expression
Expression
2. Emergence of culturally shaped emotions
Emotional referencing: Using expressions as symbols
Studies on infants from 10 month onward (Klinnert et al., 1983; Walden, 1991)
Manfred Holodynski: The Development of Emotion and Expression
2. Emergence of culturally shaped emotions
How culture enters into emotions
• Caregivers can choose situations in which children can make new
emotion related experiences.
• Caregivers interpret infants‘ expressions and react in line with
culturally (but also individually) shaped experiences and norms.
• Caregivers can choose which expressions they will ignore and which
they will mirror.
• To some extent, they can choose the actions with which they will
react to the infant‘s expression signs.
• Effect: an over- or underrepresentation of particular expressions and
their corresponding emotions in children from particular cultures.
Manfred Holodynski: The Development of Emotion and Expression
2. Emergence of culturally shaped emotions
The emergence of emotions in Western cultures
National pride
Humility
Relief
Guilt
Indignation
Longing
Love
Shame
Pride
Embarrassme
Affection
Jealousy
Defiance
Sadness
Fear
Joy
Delight
Surprise
Anger
Panic
Disgust
Fearful
Pleasure
Interest
Distress
5
Newborn
4 0 - 1 year 3 1 - 3 years 23 - 6 years 1
Adult
Manfred Holodynski: The Development of Emotion and Expression
adopted from Sroufe (1996)
0 and supplemented
A development analysis of emotions
3. Emergence of intrapersonal out of interpersonal regulation
Interpersonal
(2 - 6 years)
Age group
regulation
Neonate
Infant
Preschooler
ticp0vf 3.ins
Precursor emotions:
Expressions have
sign function
Emergence of
culturally shaped
emotions
Functional differentiation of sign use:
Expressed feeling:
Expression:
appeal to oneself
appeal to others
Child
Adult
Interpersonal
regulation
Manfred Holodynski: The Development of Emotion and Expression
Intrapersonal
regulation
3. Emergence of intrapersonal out of interpersonal regulation
Differentiation of sign use
Interpersonal regulation
Infant
Cause
Appraisal
Adult
Action
Feeling
Action
Body react. Expression
Intrapersonal regulation
In fact, the general course of
emotional development may be
described as movement from
dyadic regulation to self-regulation
of emotion. (Sroufe, 1996, p. 151)
Child
Cause
Appraisal
Feeling
Body react. Expression
Manfred Holodynski: The Development of Emotion and Expression
Action
3. Emergence of intrapersonal out of interpersonal regulation
A longitudinal study of preschoolers
• Longitudinal study of 18 children from 4 to 6 years
(Holodynski & Upmann, 2003)
• Induction of disappointment in a solitary situation
What kind of action follows the induced emotion?
Percentage of Children
70
Child‘s action
60
50
social centered
40
problem centered
30
20
dim inishing feelings
10
0
4 years
5 years
6 years
Manfred Holodynski: The Development of Emotion and Expression
A developmental analysis of emotions
Age group
Neonate
Infant
Preschooler
Interpersonal
regulation
ticp0vf 3.ins
Precursor emotions:
Expressions have
sign function
Emergence of
culturally shaped
emotions
Functional differentiation of sign use:
Expression:
Expressed feeling:
appeal to others
appeal to oneself
Child
Symbolization of
expression signs
Adult
Interpersonal
regulation
Internalization of
expression signs
Manfred Holodynski: The Development of Emotion and Expression
Intrapersonal
regulation
The Development of Emotion and Expression.
From Biological to Cultural Inheritance
Conclusions
1. A developmental analysis of emotions: A strategy to test complex
models of emotions
2. Biological inheritance:




Precursor emotions of neonates designed for

interpersonal regulation

use as signs
Infant‘s capacity to detect contingencies
Infant‘s capacity for imitative learning
Caregiver‘s intuitive parenting


Sensitivity to the appeal function of expression signs
Affect attunement of infant‘s emotion (mirroring infant‘s
expression in a symbolized manner)
Manfred Holodynski: The Development of Emotion and Expression
The Development of Emotion and Expression.
From Biological to Cultural Inheritance
Conclusions
3. Cultural inheritance:


Intrapersonal regulation of actions in adults through emotions emerges
from interpersonal regulation in childhood.
Features of interpersonal regulation continue to exist in intrapersonal
regulation in adults:

Expressions are used predominantly as signs.

Expression signs refer to particular emotional appraisals and
action readinesses

Expression signs have an appeal function
To others in interpersonal regulation
To oneself in intrapersonal regulation
Manfred Holodynski: The Development of Emotion and Expression
The Development of Emotion and Expression.
From Biological to Cultural Inheritance
3. Cultural inheritance:

Conclusions
Expression signs are the gate culture enters into emotional processing:
 They can be transformed into symbols.
 Cultural plane: Symbolization permits the formation of culturally
shaped emotions.
Mechanism: Formation of new expression symbols in line with the
formation of new emotional appraisals and action readinesses
(e. g. kneeling to express humility)
 Individual plane: Acquisition of culturally shaped expressions and
their meaning is the way in which persons learn culturally shaped
emotions.
 Acquisition takes places in coregulation between caregiver and child
from the first day of life onward.
Mechanisms:
Synchronization of cause, expression and actions
Interplay between caregiver‘s affect attunement and child‘s
imitative learning
Manfred Holodynski: The Development of Emotion and Expression
The Development of Emotion and Expression.
From Biological to Cultural Inheritance
Thank you very much
for your attention!
Manfred Holodynski: The Development of Emotion and Expression
A Developmental Analysis of Emotions
Feelings derived from internal feedback of expression and body reactions
(Damasios somatic marker concept)
Infant
Cause
Appraisal
Adult
Feeling
Body react. Expression
Appraisal
Feeling
Action
Body react. Expression
Some evidence for a somatic marker concept of feeling:
•
•
•
•
•
Phenomenologically, feelings consist of bodily and expressive sensations (James, 1890)
Developmental perspective: Expressive sensations from interpersonal regulation can also
be used for intrapersonal regulation
Evolution of the feeling system: A feedback system is a more parsimonious construction
Expression and impression draw on the same expressive sensations (affect attunement:
Stern, 1992; motor mimikry: Hatfield, Cacioppo & Rapson, 1994)
Damage to somatosensory brain regions impairs the experience of feelings (Damasio, 1994)
Manfred Holodynski: Internalisierungsmodell der emotionalen Entwicklung
4. Emergence of feelings without (objective) expressions
The phenomenon
EMG-Intensität
Intensität des Ausdrucks und Erlebens in
Abhängigkeit vom Kontext
30
25
20
15
10
5
0
Erleben
Ausdruck
Allein
Sozial
Kontext
This person is alone and she feels happy - but one cannot observe any
signs of happiness (!)
Manfred Holodynski: Internalisierungsmodell der emotionalen Entwicklung
4. Emergence of feelings without (objective) expressions
The explanation
1. In interpersonal regulation, signs need to be perceivable to other people in
order to appeal to them.
2. In intrapersonal regulation, signs do not need to be perceivable to others.
Appealing to oneself is possible only through mental signs such as an inner
smile or a special body sensation.
3. Signs can change their form without changing their meaning and function.
The written word “expression” and the spoken word “expression“: different
form, but the same meaning.
4. In intrapersonal regulation, signs adapt their form to their new intrapersonal
function:
materialized expressions  miniaturized expressions  mental expressions.
5. In the development of speech signs, such a miniaturization effect has been
verified sufficiently (first reported by Vygotskij, 1934; Bivens & Berk, 1990):
communicative speech  private speech  inner speech
Manfred Holodynski: Internalisierungsmodell der emotionalen Entwicklung
4. Emergence of feelings without (objective) expressions
Study 1: Expression of Disappointment in 6- and 7-years-old
Social
Condition
Solitary
Condition
Manfred Holodynski: Internalisierungsmodell der emotionalen Entwicklung
4. Emergence of feelings without (objective) expressions
Intensity of Expression
Study 1: Results for joy and disappointment
3
2,4
2,5
2
2,2
2,3
2,1
1,7
1,9
1,5
1
0,5
2,2
2,1
Disappointment - Solitary
Disappointment - Social
Joy - Solitary
Joy - Social
0,9
0
6 years
7 years
8 years
Age
(Holodynski, 2004)
Manfred Holodynski: Internalisierungsmodell der emotionalen Entwicklung
4. Emergence of Feelings Without (Objective) Expressions
Study 2: Internalization or Miniaturization?
(von Olberg, 1999)
Emotional episode felt
Joy (of meeting again)
Judged emotional expression
(by 10 observers)
Judged intensity of expression
(scale ranged form 0 to 9)
Self rating of felt intensity
(scale ranged form 0 to 9)
Pride (in success)
Joy
n=9
Neutral
n = 15
Pride/Joy
n=1/3
Neutral
n = 20
M = 2.1
M = 0.3
M = 2.5 / 1.1
M = 0.4
M = 6.1
M = 5.9
M = 7.0 / 6.3
M = 6.3
Manfred Holodynski: Internalisierungsmodell der emotionalen Entwicklung
4. Emergence of Feelings Without
(Objective) Expressions
Table 2. Percentage of persons with no expression of joy
(n=15) oror
pride
(n=20) as a function of the reported sign
Study 2: Internalization
Miniaturization?
of experience
Percentage of persons with no
expression of joy (n = 15) or
pride (n = 20) as a function of
the reported sign of experience
70
Smiling*
60
50
Erected body/head²
13
Exclamation of
triumph²
0
Greeting²
0
To approach the
person²
0
75
53
47
Body sensation:
tension²
50
13
20
relaxation*
33
45
arousal*
53
35
warmth*
53
0
20
40
60
80
%
Experienced (joy)
Manfred Holodynski: Internalisierungsmodell der emotionalen Entwicklung
Experienced (pride)
100
4. Emergence of Feelings Without (Objective) Expressions
Study 3: Diary Study in „Eastwestfalia and Southern Spain
Social - Spain
Participants
5,4
• 42 women from Spain
• 37 women from Eastwestfalia
Solitary - Spain
3,7
Joy*/*
4,6
Social - German
3,3
Solitary - German
6,3
5,7
Anger*/*
4,5
Diary Design
3,2
• Document all emotion episodes
within a day for 4 days of a week
5,3
4,2
Sadness /*
5,3
3,3
Measurement
•
•
•
•
6,8
Quality, intensity of expression
Quality, intensity of feeling
Context
Control of expression
4,7
Fear*/*
5,2
3,8
5,5
3,3
Restlessness*7*
4,4
3,3
0
1
2
3
4
5
6
Intensity of expression
Manfred Holodynski: Internalisierungsmodell der emotionalen Entwicklung
7
8
9